Brokerage Operations Associate (Remote)
Brokerage Operations Associate (Remote)
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$ 50000 - 60000
1 Vacancy
Job Description
About Wealth Enhancement
Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80000 households from our over 140 offices - and growing - nationwide.
Since 1997 Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information please visit .
Our Corporate office has an excellent opportunity for a Brokerage Operations Associate. As an Associate for Wealth Enhancement Brokerage Services you will be responsible for supporting core business functions and the continuous development and improvement of policies and administration of operational processes. The brokerage associate will work with the Manager Custodial Operations providing operational support to advisors with our custodian by efficiently handling day-to-day operational tasks. The role contributes to the seamless functioning of daily operations ensures compliance with regulations and facilitates effective communication within the brokerage operations team. They work closely with advisors to resolve issues with our custodian as well as coordinating with other departments in the firm. (This role is a remote work opportunity.)
In the spirit of pay transparency we are excited to share the base salary range for this position is $50000.00 to $60000.00 exclusive of bonuses and benefits. This role is also eligible for an annual corporate bonus . We encourage you to apply and provide us with your compensation expectations when you do. Were big on open conversations so lets have one.
Primary Job Functions
Perform operational activities between the broker/dealer and our clearing firm.
Review daily reports; CAT/CAIS Patriot Act/CIP and evaluate and resolve findings.
Process checks deposits received from advisors and clients from our remote deposit system.
Collaborate with our clearing firm on margin issues debits and returns.
Adheres to regulatory requirements and internal policies and assists in the preparation of annual risk assessments performed by internal compliance team.
Operations Queue and Operations email inbox requests handling.
Support operational activities with clearing broker/dealer.
Monitors and completes requests in the Salesforce Operations queue from platform and advisor teams. These range from user access requests account specific coding permissions integrations and process improvement items.
Serve as a point of contact for the advisor teams and the custodian teams to communicate and resolve issues that affect processes.
Custodian Service Relationship
Facilitate user provisioning with custodian partners.
Review custodian communications document in applicable systems and follow-up as needed to resolve or provide awareness.
Regulatory Support
Collaborate with the Operations manager on running reports and gathering data for FINRA audits.
Documenting and maintaining operational books and records as required.
Education/Qualifications
College degree or work experience equivalent
2 years of financial industry experience
FINRA Series 7 SIE preferred
FINRA Series 24 preferred
Excellent communication skills: heavy phone usage required to be successful in the role
Strong process management skills and ability to see tasks through to completion.
Attention to Detail
Problem solving skills
Proficient with Microsoft Office
WEG hires employees and makes decisions about their salary qualifications based on factors such as the role to be performed; educational and professional experience qualifications skills and credentials; tenure cost-of-living and demand for the role in the applicable market. To comply with state pay transparency laws we must disclose the entire salary grade. The entire salary grade for those who are classified as the Career level is $50700.00 to $71000.00. However the base salary range bolded above is what we expect to pay as a starting range for this position.
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Comprehensive Benefits Offerings
Our benefits aim to balance four key elements that make life and work meaningful: health and wellness financial well-being professional development and work/life harmony. You may participate in the following benefits & development opportunities:
Training and professional development
Medical dental and vision coverage (Available to employees and their families)
Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical dependent and transit expenses
Life and AD&D insurance employer paid and voluntary options
Short-term and long-term disability workers compensation employer paid
401k with match and profit sharing
Wellness programs and resources
Voluntary benefits including pet insurance
18 days of paid time off (PTO) accrued annually (25 PTO days after 4 years of service)
12 paid holidays each year (10 pre-determined and 2 floating days)
Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
Reimbursement for tuition licensing and other credentials (Available after meeting service requirements)
Should you need reasonable accommodation when completing the application form or during the selection process contact the Human Resources Department at
Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer including disabled and veterans. This organization participates in E-Verify.
Click the following link to view Federal and E-Verify posters: Link
OSHA Requirements: This position requires the ability to stand or sit for long periods of time file documents in high or low cabinets to use the telephone and to use the computer systems.
Required Experience:
IC
Employment Type
Full-Time
